ITG Names Shpetner Global Chief Compliance Officer

New CCO comes from RBC.


ITG, a broker-dealer and financial technology vendor, has named Thomas Shpetner the firm's global chief compliance officer. Shpetner will assume the role April 12 and report to ITG managing director and general counsel Angélique DeSanto.

Shpetner previously was in charge of compliance for RBC Capital Markets commercial banking business and was head of US equities compliance. Shpetner also managed regulatory audits and inquiries at Goldman Sachs, Barclays Capital and Lehman Brothers before joining RBC in 2011. He also worked as an equities compliance officer at Bloomberg Tradebook and a branch chief at the US Securities and Exchange Commission (SEC).

ITG reached a settlement of over $20 million with the SEC in August 2015 after the regulators performs an inquiry into a proprietary trading pilot program the firm ran for 16 months.

"Driving a disciplined and rigorous compliance culture is one of our key priorities," said Frank Troise, ITG CEO and president, in a statement. "We are committed to acting in the best interests of our clients at all times. Tom has the experience and leadership to ensure that we are even better equipped to deliver on that commitment."

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